RG 79 Research report providers: Improving the quality of investment research

Issued 10 December 2012

This guide is for Australian financial services licensees who are research report providers. It is directed towards providers of research on investment products—known variously as research analysts, securities analysts or research houses—and the research reports they provide.

It provides guidance on certain licensing and conduct obligations in Pt 7.7 of the Corporations Act 2001 as they apply to general advice prepared by research report providers for retail and wholesale clients.

Download RG 79 (PDF 342 KB)

Last updated: 10/12/2012 12:00